Senior Analyst Communications Compliance

Empower LLC; Bengaluru; Hybrid; INR 1,800,000 - 3,200,000; Full time

Benefits offered by this job

Remote/hybrid work options

Equal opportunity employer

Job summary

Empower LLC in Bengaluru seeks an experienced financial services compliance professional to review and approve complex communications for FINRA/SEC and insurance regulations; file materials with FINRA and maintain records.

You will interpret regulations, respond to internal inquiries, and help develop policies, procedures, and training. 8+ years of experience and relevant registrations are required, along with a degree or equivalent.

Qualifications

• 8+ years of experience in financial services compliance.
• Knowledge of registered securities products and applicable communications compliance requirements.
• Strong knowledge of FINRA, SEC, ERISA, federal, and state securities regulations and applicable insurance regulations.
• FINRA Series 6 and 26 registrations or Series 7 and 24 registrations.
• FINRA fingerprinting required.
• Bachelor’s degree or equivalent professional experience.

Responsibilities

• Review and approve complex public, retail, institutional, and internal communications for compliance with FINRA, SEC, state securities, and insurance regulations.
• File applicable communications materials with FINRA and maintain required advertising and communications records.
• Interpret FINRA and SEC regulations to determine whether communications meet regulatory standards.
• Respond to inquiries from internal business partners regarding compliance requirements and the review process.
• Develop and maintain subject matter expertise in communications regulations and compliance policies.
• Prepare quarterly and annual compliance reporting for management and senior leadership.

Skills

FINRA/SEC rules

Regulatory reviews

Attention to detail

Communication skills

Microsoft Outlook

Education

Bachelor's degree or equivalent

Tools

Adobe Acrobat

Recordkeeping systems

Job description

Our vision for the future is based on the idea that transforming financial lives starts by giving our people the freedom to transform their own. We have a flexible work environment, and fluid career paths. We not only encourage but celebrate internal mobility. We also recognize the importance of purpose, well-being, and work-life balance. Within Empower and our communities, we work hard to create a welcoming and inclusive environment, and our associates dedicate thousands of hours to volunteering for causes that matter most to them. Chart your own path and grow your career while helping more customers achieve financial freedom. Empower Yourself.

What You Will Do

Review and approve complex public, retail, institutional, and internal communications for compliance with applicable FINRA, SEC, state securities, and insurance regulations and company policies. File applicable communications materials with FINRA and maintain required advertising and communications records. Interpret FINRA and SEC regulations, regulatory guidance, comment letters, and related materials to determine whether communications meet applicable regulatory standards. Respond to inquiries from internal business partners regarding communications compliance requirements, regulatory standards, and the communications review process. Respond to inquiries from FINRA Advertising Regulation and assist with regulatory examinations, requests, and inquiries. Develop and maintain subject matter expertise in communications regulations, securities and insurance products, and company compliance policies. Assist management with maintaining and updating compliance policies based on regulatory changes and changes in business activities. Create, maintain, and test procedures and controls related to communications compliance reviews. Prepare quarterly and annual compliance reporting for management and senior leadership. Research and compile documentation required for regulatory examinations and inquiries. Conduct compliance surveillance reviews and investigations as required. Coordinate compliance programs and perform operational or surveillance activities required under SEC and FINRA regulations governing broker-dealer and investment adviser affiliates. Serve as a subject matter expert for assigned products, services, or regulatory requirements and provide training or guidance to other compliance specialists as needed. Educate internal and external business partners on communications, review processes, procedures, product requirements, and relevant regulatory or industry changes.

What You Will Bring

8+ years of experience in financial services compliance. Knowledge of registered securities products and applicable communications compliance requirements. Comprehensive understanding of securities and insurance products sufficient to conduct compliance reviews of public communications. Strong knowledge of FINRA, SEC, ERISA, federal, and state securities regulations and applicable insurance regulations. FINRA Series 6 and 26 registrations or Series 7 and 24 registrations FINRA Fingerprinting required. Strong analytical skills and attention to detail. Ability to interpret regulatory requirements and apply them to complex communications. Ability to complete communications reviews accurately and within established service or turnaround standards. Demonstrated ability to prioritize multiple assignments, manage projects, and meet strict deadlines in a fast-paced environment. Strong written and verbal communication skills. Ability to build effective working relationships with business partners, management, and staff across the organization. Ability to work independently with limited supervision while maintaining professionalism, accountability, client focus, and teamwork. Proficiency with Microsoft Outlook, Adobe Acrobat, and applicable communications review and recordkeeping A bachelor’s degree or equivalent professional experience.

What Will Set You Apart

Prior experience reviewing retail and/or institutional communications for a broker-dealer, investment adviser, or financial services organization. Experience responding to FINRA Advertising Regulation inquiries or supporting SEC, FINRA, state, or other regulatory examinations. Experience developing, maintaining, or testing communications compliance policies and procedures. Experience serving as a communications compliance subject matter expert or training other compliance professionals. Working knowledge of Empower's business model, products, and services.

We are an equal opportunity employer with a commitment to diversity. All individuals, regardless of personal characteristics, are encouraged to apply. All qualified applicants will receive consideration for employment without regard to age, race, color, national origin, ancestry, sex, sexual orientation, gender, gender identity, gender expression, marital status, pregnancy, religion, physical or mental disability, military or veteran status, genetic information, or any other status protected by applicable state or local law.

Remote and Hybrid Positions

For remote and hybrid positions you will be required to provide reliable high-speed internet with a wired connection as well as a place in your home to work with limited disruption. You must have reliable connectivity from an internet service provider that is fiber, cable or DSL internet. Other necessary computer equipment will be provided. You may be required to work in the office if you do not have an adequate homework environment and the required internet connection.